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Company: Credit Suisse Securities (USA) LLC
Current Parent Company:
UBS
Parent at the Time of the Penalty Announcement:
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Recap of Ownership Changes:
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Penalty: $54,300,000
Year: 2016
Date: January 31, 2016
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse's Light Pool.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
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